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Principal Securities, Inc. CRD 1137
$17.0B regulatory AUM 1,717 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-06-18 |
| PA | RA | APPROVED | 2016-03-29 |
Branch Locations
2100 Georgetown Dr Ste 100, Sewickley, PA 15143 • United States
Carnegie, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| P Mark Lantz Accountant | Carnegie | PA | 01/1981 | 06/2020 |
| Principal Life Insurance Company | Sewickley | PA | 03/2016 | Present |
| Principal Securities Inc | Sewickley | PA | 03/2016 | Present |
***Fixed Insurance, Fixed life, annuities, Di and LTC, 04/14/16.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-28 |
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